Compliance Manager (Asset Management)

Our client is a prominent foreign asset manager with developed business in public funds in the region.

Responsibilities

• Maintain records and documentation related to compliance activities, ensure timely filings and compliance with regulatory requirements.
• Reviews and approves marketing materials to ensure compliant to regulations.
• Conduct AML risk assessments and customer due diligence, analyze and update relevant policies, and handle ad-hoc AML/CFT queries.
• Keep abreast of regulatory changes, review and update compliance framework, policies and procedures.
• Monitor trade activities for compliance, review and report on trade errors.

Requirements

• Degree holder with at least 7 years of compliance in sizeable asset management companies.
• Strong technical knowledge in Marketing, Sales and Distribution compliance and Licensing.
• Experience in global set up asset management companies is a plus.
• Fluent in English and Chinese (ability to read and write both traditional and simplified Chinese).